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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2011-08-11 |
| TX | RA | APPROVED | 2011-08-11 |
Branch Locations
516 Nile Kinnick Dr S, Suite A, Adel, IA 50003 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Adel | IA | 08/2011 | Present |
1. 10/21/2022 - PGF LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 07/28/2020 - 300 Hours Per Month/6 Hours During Securities Trading. 2. 10/21/2022 - Pivot Wealth Strategies - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 11/28/2012 - 20 Hours Per Month/1 Hour During Securities Trading. 3. 10/21/2022 -Pivot Wealth Strategies - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 216 Hours Per Month/7 Hour During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 2003-01-31 |
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